Biographies

Mr. Chen Gongyan serves as Executive Chairman of the Board of the Company. Mr. Chen Gongyan is a director and the chairman of Galaxy Financial Holdings since May 2016; the deputy general manager of Central Huijin since August 2016; the chairman of Securities Association of China since June 2011. Mr. Chen Gongyan served as the chairman of the board of directors of China Securities Investor Protection Fund Corporation Limited from July 2005 to September 2011. Prior to that, Mr. Chen held various positions in CSRC from February 1998 to July 2005, including the person in charge of the Information Center from February 1998 to October 1998, an assistant inspector of the Policy Research Office from October 1998 to October 2000, the deputy director of the Institution Regulatory Department from October 2000 to November 2004, and the director of the Risk Management Office for Securities Companies and the deputy director of the Institution Regulatory Department from November 2004 to July 2005. Mr. Chen served as a director and the vice president of Beijing Commodity Exchange from May 1993 to February 1998, an advisory researcher and the deputy researcher of Development Research Center of the State Council from February 1988 to May 1993, and a teacher of Tongling County Party School of Anhui Province from August 1982 to August 1985. Mr. Chen graduated from the Department of Economics of Peking University with a master’s degree in foreign history of economic thoughts, and from the School of Economics and Management of Tongji University with a doctorate degree in technical economics and management.

Mr. Gu Weiguo serves as Executive Deputy Chairman of the Board, President of China Galaxy Securities Company Ltd. He has been the President and executive Director of our Company since March and April 2010, respectively. Mr. Gu is in charge of the overall management and operations of our Company. Mr. Gu has also been appointed as Deputy Chairman of our Company since May 2012. Mr. Gu also served as director of Galaxy International Holdings since February 2011, the chairman of the executive committee of our Company from December 2012 to October 2016, director of Galaxy Financial Holdings since June 2011, chairman of Galaxy International Holdings since July 2016 and director of Zhengtong Co., Ltd. since January 2015. From August 1987 to August 2002, Mr. Gu served consecutively as deputy division director of Editorial Office of Investment Research Division, division director of General Division of First Credit and Loan Department, deputy supervisor of Supervisory Office, general manager of Entrusted Business Department and general manager of Intermediate Business Department in China Construction Bank (previously known as China People’s Construction Bank). From August 2002 to January 2007, he was vice president of China Scitech Securities Co., Ltd. Mr. Gu joined our Company in January 2007, and was chairman of our Company’s labor union from October 2008 to July 2010, Vice President of our Company from September 2009 to March 2010, and chairman of Galaxy Capital from April 2010 to October 2010. Mr. Gu obtained a bachelor’s degree in economics from Liaoning Institute of Finance and Economics in January 1982, and a master’s degree in economics from Institute of Fiscal Science of Ministry of Finance in September 1987.

Ms. Zhu Ruimin serves as Chief Financial Officer of China Galaxy Securities Company Ltd since April 2012. She holds a doctorate in Management. She is currently the Chief Financial Officer and a member of the executive committee of our Company. She is in charge of financial management of the Company. From July 2008 to April 2012, she served consecutively as general manager of finance department, assistant general manager and deputy general manager of Dongxing Securities Company Limited. She served as the Chief Financial Officer of the Company from April 2012 and a member of the executive committee of the Company from December 2012. Ms. Zhu obtained a bachelor’s degree in economics from Changchun Institute of Tax in July 1993, a master’s degree in business administration from Renmin University of China in June 2005, and a doctor’s degree in management from Renmin University of China in January 2009.

Mr. Wu Jianhui serves as Chief Human Resource Officer of China Galaxy Securities Company Ltd since November 2011. He holds a doctorate in Economics, and is a senior economist. He is currently the Chief Human Resources Officer and a member of the executive committee of our Company, and director of Galaxy Capital. He is in charge of our human resource affairs. From April 1997 to December 2005, Mr. Wu served consecutively as staff member of examination and appointment and dismissal division of staff education department, deputy manager of training and development division (in charge), deputy manager of general information division (in charge) and manager of long-term incentive program division of human resources department of China Unicom Limited. From January 2006 to December 2007, Mr. Wu was an assistant general manager of human resources department in Bank of China Limited , during which he also served as director of Bank of China Insurance Co., Ltd. From December 2007 to June 2010, he worked as senior manager in human resources department of China Investment Corporation. From July 2010 to April 2012, Mr. Wu served as general manager of human resources department in our Company. From March 2011 to August 2012, he served as secretary to the Board of our Company. He has been serving as a director of Galaxy Capital since July 2011, the Chief Human Resources Officer since November 2011 and a member of the executive committee of our Company since December 2012. Since January 2016, Mr. Wu obtained a bachelor’s degree in law from Lanzhou University in June 1994, a master’s degree in economics from Renmin University of China in June 1997 and a doctor’s degree in economics from Renmin University of China in January 2005.

Mr. Li Shuhua serves as Chief Compliance Officer, Chief Risk Officer of China Galaxy Securities Company Ltd. He holds a doctorate in Management specialized in Accounting, He is a nonpractising member of the Chinese Institute of Certified Public Accountants. He is currently the Chief Risk Officer/Chief Compliance Officer and a member of the executive committee of our Company. From July 1999 to February 2010, Mr. Li served consecutively as director-level clerk of general office division, deputy division director of auditing division, deputy division director of general office division, division director of financial budgeting management division and division director of general office division of accounting department in CSRC. He joined the Company in March 2010 and became the Chief Compliance Officer in April 2010, Chief Risk Officer/Chief Compliance Officer since November 2011 and member of the executive committee since December 2012. Mr. Li obtained a bachelor’s degree in management majoring in auditing from Agricultural University of Southwest (currently known as Southwest University) in July 1993, a master’s degree in economics majoring in accounting from Xiamen University in July 1996, and a doctor’s degree in management majoring in accounting from Shanghai University of Finance and Economics in August 1999.

Mr. Li Xianglin serves as Vice President of the Company. He holds a master’s degree in literature. He is currently a member of the executive committee and Vice President of our Company. From May 1992 to May 1993, he served as a clerk of Overseas Chinese Affairs Office of the State Council. From May 1993 to March 2001, he served successively as manager of organisation management department, general manager of Nanjing business department, senior manager of trading department, deputy general manager of research institute (in charge of work), director of the president’s office, general manager of Tianjin branch of Huaxia Securities Co., Ltd. From May 2001 to September 2009, he served successively as assistant to president and general manager of Beijing management headquarters of Bohai Securities Co., Ltd., Party Committee member and vice president of Bohai Securities Co., Ltd. From September 2009 to December 2014, he served successively as Party Committee member, deputy general manager and general manager of Beijing asset management branch, deputy secretary of Party Committee, deputy general manager and general manager of Beijing asset management branch of Hongyuan Securities Co., Ltd. From January 2015 to August 2016, he served as deputy general manager of Shenwan & Hongyuan Securities Co., Ltd. He has been a member of the executive committee and Vice President of our Company since August 2016, and chairman of Galaxy Futures since December 2016. Mr. Li obtained a bachelor’s degree in literature from Nankai University in July 1989, a master’s degree in literature from Renmin University of China in June 1992 and EMBA from Peking University in July 2006.

Ms. Wei Xiaohui serves as Vice President of the Company. She holds a master’s degree in business administration, and is an accountant. She is currently a member of the Party Committee, a member of Executive Committee and Vice President of our Company. From February 1991 to September 1996, she served successively as funding director of fund settlement center, deputy general manager of Chaoyang Consultation Company, a secondary enterprise of Shenzhen Petrochemical Group), deputy general manager of information and advertising company of Shenzhen Petrochemical Group. From November 1996 to December 2003, she served successively as general manager of funding and finance department, general manager of E-commerce headquarters, and vice president of brokerage business and general manager of market development department of Guoxin Securities Co., Ltd. From January 2004 to September 2005, she was designated to work in the former China Southern Securities takeover group, responsible for international business department, finance and planning department, China Southern Securities (Hong Kong) and special audit. From September 2005 to December 2016, she served successively as Party Committee member, person in charge of compliance, chief risk officer, chief audit officer and vice president of China Investment Securities Co., Ltd. From September 2015 to December 2016, she served as chairman and legal representative of China Investment Securities Investment Co. Ltd. Ms. Wei obtained a master’s degree in business administration from Hong Kong University of Science and Technology in November 2006. She passed the national examination and obtained accountant qualification from Ministry of Finance of the PRC in October 1994.

Mr. Wu Chengming serves as Joint Company Secretary, Executive Director of China Galaxy Securities Company Ltd. He has been a Director of our Company since August 2009 and designated as executive Director and Secretary to the Board since August 2012. Mr. Wu is principally responsible for daily affairs of the Board, as well as Company information disclosure and information submission. He has also been a member of the executive committee of our Company since December 2012. From August 1985 to June 2009, Mr. Wu served consecutively as deputy division director of Foreign Regulations Division of Legal Affairs Department, deputy division director and division director of the Third Division of Legal Affairs Department, and division director of Administrative Review Department of the Ministry of Finance. From June 2009 to July 2012, Mr. Wu served as director of Galaxy Financial Holdings, during which time he was also director of China Galaxy Investment Management Company Limited from May 2011 to July 2012. Mr. Wu obtained a bachelor’s degree in law from Peking University in July 1985.

Mr. Wang Liuqi serves as Chief Business Officer of Equity Financing Business at China Galaxy Securities Company Ltd. He holds a doctorate in Management. He is a non-practising member of the Chinese Institute of Certified Public Accountants, a Fellowship of Chartered Certified Accountant (FCCA), one of the first batch of sponsor representatives in China and Vice Chairman of Investment Banking Committee of Securities Association of China. He is currently the general manager of our investment banking head office as well as the Chief Business Officer of Equity Financing Business of our Company, and a member of the executive committee of our Company being responsible for our investment banking business. From July 1993 to December 1999, Mr. Wang was a lecturer in Changchun Institute of Engineering. He also served as the head of the training and examination department at the LCCI Examination Center of Northeast Normal University from December 1996 to December 1999. From December 1999 to December 2009, he worked in Northeast Securities Company Limited, during which time he served consecutively as general manager of investment banking head office and executive deputy general manager of Beijing branch from December 2007 to December 2009. From December 2009 to December 2011, he served as assistant to general manager, as well as general manager of investment banking head office of Capital Securities Company Limited. He joined the Company in January 2012 and served as the general manager of investment banking head office from February 2012, the Chief Business Officer of Equity Financing Business from March 2012. He has been serving as a member of the executive committee of the Company from December 2012, served as a director of Beijing Equity Trading Center from December 2013 to April 2016, and as a member of the economic committee of the CAPD since September 2015.

Mr. Yin Yanwu serves as Chief Business Officer of Asset Management Business of China Galaxy Securities Company Ltd since December 2012. He holds master’s degrees in Quantitative and Computational Finance. He is the Chief Business Officer of Asset Management Business and a member of the executive committee of the Company. He is also the director and chairman of Galaxy Jinhui. He is responsible for the asset management business, research and institutional business of our Company. From July 1997 to March 2003, he worked at Economic Crime Investigation Division of Ministry of Public Security of PRC. From September 2003 to May 2005, he studied at US Georgia Institute of Technology. From September 2005 to April 2007, Mr. Yin was responsible for investment analysis in West Asset Management Company in USA. From April 2007 to June 2008, he worked in EARNEST Partners LLC in USA, and was designated as chief representative of Beijing Office of this company. From June 2008 to November 2011, he worked in Risk Management Department of China Investment Corporation. From November 2011 to December 2012, Mr. Yin served as the Chief Business Officer of Asset Management Business of our Company. He has been the director of the asset management business and a member of executive committee of the Company since December 2012. Since September 2014, he has been serving as the director and chairman of Galaxy Jinhui. Mr. Yin obtained a bachelor’s degree in engineering from Beijing University of Aeronautics & Astronautics in July 1997, a master of law degree from Peking University in January 2003, and a master of science degree in Quantitative and Computational Finance from Georgia Institute of Technology in May 2005.

Ms. Mok Ming Wai serves as Joint Company Secretary of the Company. Ms. Mok is a director and the head of KCS Hong Kong Limited. She has over 20 years of professional and in-house experience in the company secretarial field. She holds a master degree in applied accounting and finance. She is a fellow member of the Hong Kong Institute of Chartered Secretaries and the Institute of Chartered Secretaries and Administrators in the United Kingdom.

Mr. Du Ping is Non-Executive Director of the Company. He has been a non-executive Director of our Company since June 2015, the general manager of Galaxy Financial Holdings since February 2015, the chairman of Galaxy Dahua Low Carbon Industry (Tianjin) Fund Management Company Limited since June 2015. From February 1993 to September 2003, Mr. Du was the division director of headquarters, vice president of the Shenzhen branch and the general manager of the Singapore branch of Bank of Communications. From December 2003 to December 2014, he was the deputy general manager of Shenyin & Wanguo Securities Co., Ltd. Mr. Du graduated from Wuhan University in July 1986 with a bachelor’s degree in law, and obtained a master’s degree in criminal law from Wuhan University in July 1989. He received a doctor’s degree in management science and engineering from University of Shanghai for Science and Technology in June 2011.

Mr. Li Chaoyang serves as Non-Executive Director (Employee Director) of the Company since June 2015. He is the general manager of Zhejiang branch. From January 1981 to December 1986, Mr. Li served as the director of trust division of Zhejiang branch, the vice president of Tongxiang County sub-branch and general manager of Zhejiang Trust Investment Company of the Agricultural Bank of China. From January 1997 to July 2000, he served as general manager of the Hangzhou Securities Business Department of China Great Wall Trust Investment Company. From August 2000 to December 2007, he served as general manager of the Hangzhou Jiefang Road Securities Business Department and general manager of the Hangzhou Management Department of Galaxy Limited. From January 2008 to May 2011, he served as the general manager of the Hangzhou Management Department and the director of Zhejiang Representative Office of the Company. From June 2011 to August 2016, he was the general manager of Zhejiang Branch of the Company. He has been the Employee Director of the Company since June 2015. Mr. Li graduated from Zhejiang Radio & Television University in December 1986 and completed a postgraduate course on modern Chinese history in Zhejiang University in July 1997.

Mr. Shi Xun serves as Non-Executive Director of China Galaxy Securities Company Ltd., since August 2011. From August 1983 to September 1986, Mr. Shi served as assistant engineer in Nantong Machinery Plant of Light Industry. From October 1986 to January 1998, he served as assistant to supervisor of Economic System Reform Commission of Nantong City. From February 1998 to September 2007, Mr. Shi was deputy director of CSRC Shanghai Supervision Office of the Commissioner and the director of CSRC Shanghai Commissioner’s Office. From September 2007 to November 2011, Mr. Shi was deputy general manager of Shanghai New Huangpu Real Estate Co., Limited (a company listed on the Shanghai Stock Exchange, stock code: 600638), during which time he concurrently served as director of Jiangxi Ruiqi Futures Brokerage Company Limited from November 2008 to November 2011. From October 2009 to November 2011, he was chairman of Huawen Futures Brokerage Co., Ltd.. Mr. Shi obtained a master’s degree in business administration from Fudan University in June 2008.

Mr. Zhang Jinghua serves as Non-Executive Director of the Company since June 2015. From January 1982 to January 1993, Mr. Zhang served consecutively as director-level clerk, deputy director and director of the State Forestry Department of the People’s Republic of China. From January 1993 to August 2004, he served consecutively as supervisor of the listing division, marketing division, fund division and international division of China Securities Regulatory Commission. From August 2004 to October 2010, he served as non-executive director of Bank of China Limited. From September 2005 to December 2015, he served as non-executive director of China Investment Securities Co. Ltd. He has been a non-executive Director of the Company since June 2015. Mr. Zhang obtained a bachelor’s degree in engineering from the Forest Road Construction Department of the Northeast China Institute of Forestry in January 1982, and obtained his MBA degree from New York State University in February 1988.

Mr. Luo Lin serves as Independent Non-Executive Director of the Company since June 2015. From August 1979 to February 1994, Mr. Luo severed as the deputy director and director of the financial department, and the deputy director of the fund department of China Construction Bank Corporation. From March 1994 to October 2010, he served successively as deputy director of the financial bureau, director of northwest credit bureau of the National Development Bank, the president of the National Development Bank’s Yunnan Branch, director of capital bureau and full-time evaluation committee member of Loan Committee of the National Development Bank. Mr. Luo graduated from Liaoning Institute of Finance in August 1979 majoring in infrastructure financing, and graduated from the Graduate School of Chinese Academy of Social Science in April 1998 with a master’s degree in monetary banking. In November 1998, he was granted the qualification as a senior accountant by the Government Offices Administration of the State Council.

Mr. Wu Yuwu serves as Independent Non-Executive Director of China Galaxy Securities Company Ltd since January 2013. Mr. Wu is a professor of accounting at the School of Accountancy of The Chinese University of Hong Kong since January 2002. From July 1995 to January 2002, Mr. Wu served consecutively as assistant professor of accounting and associate professor of accounting in the School of Accountancy of The Chinese University of Hong Kong. Mr. Wu obtained a bachelor’s degree in architectural engineering from South China Engineering Institute in July 1982, and a master of science degree in business administration from Concordia University, Canada in October 1987. He also obtained a master’s degree in statistics and operations research, a master of philosophy degree in accounting and a doctor of philosophy in accounting from New York University, USA in May 1989, May 1990 and May 1992, respectively.

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